Regulatory News (May 2015)
- SFC statement on Hanergy Thin Film Power Group Limited
- Former licensee convicted of false trading
- SFAT affirms SFC decision to ban Sun Xiao for 13 months
- Appointments and re-appointments to SFC Advisory Committee
- SFC and CSRC sign agreement on Mainland-Hong Kong Mutual Recognition of Funds
- Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission
- SFC launches new register of cold shoulder orders
- SFC welcomes appointment of Non-Executive Director
- SFC enhances regime to regulate alternative liquidity pools
- Update on reporting and record keeping rules for OTC derivatives
- Intermediaries reminded full compliance with Know Your Client and account opening procedures
- Hong Kong Game Theory Association Limited and sole director convicted of unlicensed activities
- SFC bans Benjamin Zhu Zhiwei for 18 months
- SFC recovers $190 million for investors of collapsed hedge fund
- SFC bans Wong Wai Hong for six months
- SFC reprimands and fines Kingston $500,000
- SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Warderly shares
SFC welcomes appointment of Non-Executive Director